-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PKog2aoK1xoYwRseNQ221hBaoZ3eV5hBb4uXKawKCL04/CLq2xqxeOiOcziOQeLy EOitVPo469WW/nDK57B3uw== 0000950123-96-007320.txt : 19961216 0000950123-96-007320.hdr.sgml : 19961216 ACCESSION NUMBER: 0000950123-96-007320 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19961213 SROS: NASD GROUP MEMBERS: A CAP, INC. GROUP MEMBERS: ASSOCIATED CAPITAL LP GROUP MEMBERS: JAY H. ZISES GROUP MEMBERS: NANCY J. FRANKEL-ZISES GROUP MEMBERS: SELIG A. ZISES SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAMBEX CORP CENTRAL INDEX KEY: 0000016590 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 042442959 STATE OF INCORPORATION: MA FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-30168 FILM NUMBER: 96680673 BUSINESS ADDRESS: STREET 1: 360 SECOND AVE CITY: WALTHAM STATE: MA ZIP: 02154 BUSINESS PHONE: 6178906000 MAIL ADDRESS: STREET 2: 360 SECOND AVE CITY: WALTHAM STATE: MA ZIP: 02154 FORMER COMPANY: FORMER CONFORMED NAME: CAMBRIDGE MEMORIES INC DATE OF NAME CHANGE: 19801204 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ASSOCIATED CAPITAL LP CENTRAL INDEX KEY: 0000864939 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 521 5TH AVE 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10175 BUSINESS PHONE: 2128729662 MAIL ADDRESS: STREET 1: 521 5TH AVE 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10175 SC 13D/A 1 AMENDMENT NO. 5 TO SCHEDULE 13D 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Cambex Corporation - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.10 par value - ------------------------------------------------------------------------------- (Title of Class of Securities) 132008103 - ------------------------------------------------------------------------------- (CUSIP Number) Associated Capital, L.P. Margery K. Neale, Esq. A Cap, Inc. Shereff, Friedman, Hoffman & Goodman, LLP Jay H. Zises 919 Third Avenue Selig A. Zises New York, New York 10022 Nancy J. Frankel-Zises (212) 758-9500 477 Madison Avenue, 14th Floor New York, NY 10022 (212) 872-9660 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 11, 1996 -------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. Check the following box if a fee is being paid with the statement [ ]. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of less than five percent of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 2 SCHEDULE 13D CUSIP No. 056359102 PAGE 2 OF 10 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ASSOCIATED CAPITAL, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 356,000 shares NUMBER OF ---------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY ---------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 356,000 shares PERSON ---------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 356,000 shares - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 2 3 SCHEDULE 13D CUSIP No. 056359102 PAGE 3 OF 10 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON A CAP, INC. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 356,000 shares NUMBER OF ---------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY ---------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 356,000 shares PERSON ---------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 356,000 shares - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 3 4 SCHEDULE 13D CUSIP No. 056359102 PAGE 4 OF 10 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON JAY H. ZISES - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC, PF, 00 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 401,000 shares NUMBER OF ---------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY 14,500 shares OWNED BY ---------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 401,000 shares PERSON ---------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 14,500 shares - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 415,500 shares - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 4 5 SCHEDULE 13D CUSIP No. 056359102 PAGE 4 OF 10 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SELIG A. ZISES - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [x] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF, 00 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF ---------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY 0 OWNED BY ---------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ---------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. 5 6 SCHEDULE 13D This Amendment No. 5 amends and supplements the Statement on Schedule 13D filed with the Securities and Exchange Commission on June 28, 1995, as amended by Amendments No. 1, 2, 3 and 4 thereto (the "Statement") with respect to the common stock, $.10 par value per share, of Cambex Corporation (the "Common Stock"). Only those items of the Statement that are amended and supplemented hereby are included herein. Unless otherwise defined herein, all capitalized terms shall have the respective meanings ascribed to them in the Statement. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) and (b) Associated Capital is the beneficial and record owner of 356,000 shares of Common Stock, or 4.0% of the outstanding shares of Common Stock. As the general partner of Associated Capital, A Cap has the sole power to vote and to direct the voting of and the sole power to dispose and direct the disposition of the 356,000 shares of Common Stock owned by Associated Capital. Accordingly, A Cap may be deemed to be the beneficial owner of such 356,000 shares of Common Stock or 4.0% of the outstanding shares of Common Stock. Jay Zises, as President of A Cap, has the sole power to vote and to direct the voting of, and to dispose and to direct the disposition of, the shares of Common Stock deemed to be beneficially owned by A Cap. Accordingly, Mr. Zises may be deemed to be the beneficial owner of such 356,000 shares of Common Stock or 4.0% of the outstanding shares of Common Stock. Jay Zises is the beneficial and record owner of an aggregate of 45,000 shares of Common Stock or 0.5% of the outstanding in his personal account and individual retirement account ("IRA"). Mr. Zises also may be deemed to own beneficially an additional 14,500 shares of Common Stock or 0.2% of the outstanding in the account of his ex-wife, Susan Zises. In addition, as described below, Jay Zises also may be deemed to own beneficially any shares of Common Stock held in an UGMA account for the benefit of his daughter, Meryl Zises, and in the accounts of his son, Justin Zises, his daughters, Lara Zises and Samantha Zises, and his mother-in-law, Inge Frankel. Currently, no Common Stock is held in such accounts. In addition to the 356,000 shares of Common Stock owned by Associated Capital, Jay Zises has sole power to vote or direct the vote of, and to dispose and to direct the disposition of, the 45,000 shares of Common Stock or 0.5% of the outstanding in Mr. Zises's personal and IRA accounts. In addition, Jay Zises has shared power to vote or direct the voting of, and shared power to dispose or direct the disposition of, the 14,500 shares or 0.2% of the outstanding held in the account of his ex-wife, Susan Zises. Jay Zises has shared power to vote or direct the voting of, and shared power to dispose or direct the disposition of, any shares of Common Stock which may hereafter be held in an UGMA account for the benefit of his daughter, Meryl Zises, and in the accounts of son, Justin Zises, his daughters, Lara Zises and Samantha Zises, and his mother-in-law, Inge Frankel. 6 7 Selig A. Zises is the beneficial and record owner of an aggregate of 0 (zero) shares of Common Stock. In addition, as described below, Mr. Zises also may be deemed to own beneficially any shares of Common Stock held in the account of his daughter, Lynn Zises. Currently, no Common Stock is held in the account of Lynn Zises. The number of shares beneficially owned by the above persons and the percentage of outstanding shares represented hereby have been computed in accordance with Rule 13d-3 under the Securities Exchange Act of 1934, as amended. The percentages of ownership are based on 8,975,000 outstanding shares of Common Stock of the Issuer based on the Issuer's Quarterly Report on Form 10-Q for the quarter ended June 29, 1996. (c) All transactions in the Common Stock effected by the above persons since the filing of the previous amendment to the Statement are set forth in Exhibit C hereto and are incorporated herein by reference. All such transactions were effected in the open market. There have been no transactions in the Common Stock effected by the other Reporting Persons since such time. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Exhibit C. Transactions in Common Stock of the Issuer. 7 8 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. ASSOCIATED CAPITAL, L.P. By: A CAP, INC., as General Partner By: /s/ Jay H. Zises ------------------------------------- Jay H. Zises, President A CAP, INC. By: /s/ Jay H. Zises ------------------------------------- Jay H. Zises, President /s/ Jay H. Zises ---------------------------------------- JAY H. ZISES /s/ Selig A. Zises ---------------------------------------- SELIG A. ZISES Dated: December 13, 1996 8 EX-99.C 2 TRANSACTIONS IN COMMON STOCK OF THE ISSUER 1 Exhibit C Transactions in Common Stock of CAMBEX CORPORATION as of 12/11/96 CAMBEX CORPORATION
- ------------------------------------------------------------------------------------------------------------- Trade Date #of shares Price Net $ - ------------------------------------------------------------------------------------------------------------- Associated Capital 11/11/96 -11,500 $2.541 ($29,218.05) - ------------------------------------------------------------------------------------------------------------- 11/11/96 -12,000 $2.677 ($32,124.00) - ------------------------------------------------------------------------------------------------------------- 11/14/96 -7,500 $2.500 ($18,750.00) - ------------------------------------------------------------------------------------------------------------- 11/15/96 -2,500 $2.500 ($6,250.00) - ------------------------------------------------------------------------------------------------------------- 11/20/96 -6,000 $2.625 ($15,750.00) - ------------------------------------------------------------------------------------------------------------- 11/21/96 -6,000 $2.427 ($14,562.00) - ------------------------------------------------------------------------------------------------------------- 11/22/96 -20,000 $2.488 ($49,750.00) - ------------------------------------------------------------------------------------------------------------- 11/27/96 -2,000 $2.500 ($5,000.00) - ------------------------------------------------------------------------------------------------------------- 12/3/96 -2,000 $2.500 ($5,000.00) - ------------------------------------------------------------------------------------------------------------- 12/3/96 -2,000 $2.375 ($4,750.00) - ------------------------------------------------------------------------------------------------------------- 12/10/96 -11,000 $2.250 ($24,750.00) - ------------------------------------------------------------------------------------------------------------- SUB TOTAL 356,000 $9.259 $3,296,258.45 - ------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------- Selig Zises 10/17/96 -1,000 $3.500 ($3,500.00) - ------------------------------------------------------------------------------------------------------------- 10/18/96 -1,000 $3.295 ($3,295.00) - -------------------------------------------------------------------------------------------------------------
2
- ------------------------------------------------------------------------------------------------------------- Trade Date #of shares Price Net $ - ------------------------------------------------------------------------------------------------------------- 10/22/96 -1,000 $3.500 ($3,500.00) - ------------------------------------------------------------------------------------------------------------- 10/23/96 -1,000 $3.500 ($3,500.00) - ------------------------------------------------------------------------------------------------------------- 10/24/96 -1,000 $3.500 ($3,500.00) - ------------------------------------------------------------------------------------------------------------- 10/25/96 -1,000 $3.500 ($3,500.00) - ------------------------------------------------------------------------------------------------------------- 10/30/96 -1,000 $3.108 ($3,107.50) - ------------------------------------------------------------------------------------------------------------- 10/31/96 -1,000 $3.108 ($3,107.50) - ------------------------------------------------------------------------------------------------------------- 11/1/96 -1,000 $3.045 ($3,045.00) - ------------------------------------------------------------------------------------------------------------- 11/4/96 -1,000 $2.920 ($2,920.00) - ------------------------------------------------------------------------------------------------------------- 11/5/96 -1,600 $2.920 ($4,672.00) - ------------------------------------------------------------------------------------------------------------- SUB TOTAL 0 - ------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------- Susan Zises 12/10/96 -500 $2.375 ($1,187.50) - ------------------------------------------------------------------------------------------------------------- SUB TOTAL 14,500 $9.220 $133,691.50 - ------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------- Current Total 420,500 - ------------------------------------------------------------------------------------------------------------- % ownership 4.69% - ------------------------------------------------------------------------------------------------------------- 6.74% 604,915 - ------------------------------------------------------------------------------------------------------------- 5.00% 448,750 - ------------------------------------------------------------------------------------------------------------- 4.74% 425,415 - -------------------------------------------------------------------------------------------------------------
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